Joseph L. Klingen

PARKER FINANCIAL ADVISORS LLC

Houston, TX 77079-2943

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CRD#: 2413199

Professional summary

Joseph Leonard Klingen, who also goes by Joe Klingen, is a registered financial advisor currently at PARKER FINANCIAL ADVISORS LLC located in Houston, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Klingen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Joe Klingen dba Stringin' Klingen; the business is not investment-related; the nature of the business is tennis racquet stringing; Mr. Klingen is the owner of the firm; business began in October 2020; Mr. Klingen spends less the 1% of his time on this business; none of that time is during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Leonard Klingen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 20, 2019 - Present

PARKER FINANCIAL ADVISORS LLC

Office #1: 14800 St Mary's Ln Ste 245, Houston, TX 77079-2943

RIA

CRD#: 305188

Houston, TX

Past

April 7, 2010 - December 31, 2019

PARKER FINANCIAL ADVISORS

RIA

CRD#: 114213

HOUSTON, TX

Past

June 28, 2004 - May 6, 2008

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

June 28, 2004 - May 6, 2008

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

October 17, 2001 - June 30, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

HOUSTON, TX

Past

October 17, 2001 - June 30, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

May 16, 1998 - October 18, 2001

HOWARD WEIL INCORPORATED

CRD#: 30958

NEW ORLEANS, LA

Past

July 31, 1995 - March 3, 1998

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 1, 1994 - May 4, 1995

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

November 16, 1993 - September 1, 1994

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

NEW ORLEANS, LA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PARKER FINANCIAL ADVISORS LLC

CRD#: 305188 / SEC#: 801-117329

RIA

Registered Investment Advisory firm - (9/17/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(6/28/2024)

IAR

Texas
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1993

General Securities Representative Examination

Current Firm

PARKER FINANCIAL ADVISORS LLC

CRD#: 305188 / SEC#: 801-117329

RIA

Registered Investment Advisory firm - (9/17/2019 Approved)

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Contact information

Main Address

14800 St Mary's Ln Ste 245, Houston, TX 77079-2943

Mailing Address

Phone number

(832) 476-3495

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 190,897,043

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph L. Klingen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Leonard Klingen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKER FINANCIAL ADVISORS

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

HOWARD WEIL INCORPORATED

SEI INVESTMENTS DISTRIBUTION CO.

LEGG MASON WOOD WALKER, INCORPORATED

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

PARKER FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/1996

Series 63

Date: 11/29/1993

Series 7

Date: 11/15/1993

Current Firm

PARKER FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARKER FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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